Hong Kong SAR
Governance, Risk, Compliance, Control Assurance, and Internal Audit (Fund Management, Superannuation, Government Industry) • Took ownership of conducting walkthrough interviews to understand controls and how they comply with ASIC regulations, assessing the design and operating effectiveness of the controls. This also includes sample selection, testing evidence, documenting the test procedures and test results in files, coordinating daily work with the external audit team, compliance team and IT audit team, and coaching the acceleration center to deliver the project • Communicated audit results to upper management through preparing written reports and presentation in spreadsheet, produced client deliverables like weekly project updates in client meetings and audit findings in files, took ownership of project planning by setting up files, designing project trackers, interview agendas Risk Culture Consulting (Health Fund, Energy Infrastructure, Not-for-profit Organizations Industry) • Performed Risk Culture Reviews, specifically helping conduct Risk Culture Maturity Assessment, by conducting interviews with senior leaders and assessing clients’ risk culture against a standardized framework • Applied documentation review and Observational analysis in recommending improvements to enhance operational efficiency and mitigate risks in final reports, and provide clients with deeper understanding of the risk culture & behaviors for the organizations ESG: • Performed ESG regulation mapping exercises using Regulatory Technical Standards as a guideline. This exercise involved comparing and contrasting other regulations and policies, such as the Sustainable Finance Disclosure Regulation to identify regulatory changes and obligations. Based on this analysis, I then evaluated and developed appropriate action statement
Healthcare Internal Control Advisory: - Conducted financial research and client-interviews with senior management, performed risk assessment and internal control process review through finance, human resources, IT and business units, and delivered solutions to improve operation efficiency for clients, and performed analytical testing on financial reporting processes to identify potential errors or misstatements that could impact the client’s financial statements FMCG IPO & Internal Audit: - Supported internal audit team by performing risk identification, control testing and process improvement; - Conducted audit findings, risks recommendations to managers, met with clients to understand their expectation, identified and assessed technology & business controls, risks and workflow inefficiencies, to develop control policies and procedures for clients in Great Bay Area Capital Markets & Accounting Advisory: - Assisted a Fintech client in preparing the database in a benchmarking analysis, and executed due diligence by monitoring cash flows and operations transaction data to reduce risks in regulatory compliance
- Developed strategies for a Fintech client, integrated data from both client's and competitors’ financial reports to stakeholders, and performed current problem diagnosis to ensure the availability, operability, and stability of all network assets; - Conducted data analysis from database and operating systems, and accomplished client interviews by performing meeting minutes, integrating information on current business operations and related technologies aligned to internal business & customer-defined requirements